FinTech Compliance Strategist

Financial Technology Partners LP; New York (NY); On-site; USD 120,000 - 190,000; Full time

Job summary

Financial Technology Partners is seeking a Compliance Manager to oversee FINRA, SEC, and FCA regulatory compliance and advise management on strategic decisions. The role requires hands-on development of a tailored compliance program responding to evolving regulatory needs.

The ideal candidate will have 4+ years in FINRA/SEC compliance within investment banking or private equity, plus Series 7/24 or ability to obtain quickly, and strong written policies.

Qualifications

• 4+ years of FINRA and SEC compliance experience preferably in Investment Banking or Private Equity
• FINRA Series 7 and Series 24 strongly preferred; or must able to obtain within a short period
• Good knowledge of FINRA regulations and applicable regulatory requirements and expectations related to investment banking and broker-dealer activities
• Working knowledge of federal and state laws and regulations applicable to investment banking including a general knowledge of SEC regulatory requirements and framework
• Ability to articulate regulatory requirements to all levels of employees, from new analysts to the head of the firm
• Experience with FINRA Gateway including U4s & U5s, Form BD, CMA, as well as handling ad hoc regulatory inquiries
• Experience writing and maintain firm policies and procedures including Written Supervisory Procedures
• Understanding and experience executing KYC/AML/CIP checks, complying with sanctions and Treasury requirements, oversight of employee personal investments and OBAs, e-comms surveillance and management, books and records requirements, regular compliance testing, and certification under FINRA 3130
• Experience with FINRA Rule 2241 regarding equity research is a major plus
• Familiarity with compliance systems and related platforms such as DocuSign, Smarsh, ComplySci, and Dow Jones Risk Center a plus
• Knowledge of FCA and EU regulatory requirements a plus
• Four year college degree required; JD preferred

Responsibilities

• Oversee FINRA, SEC, FCA regulatory compliance and advise management
• Monitor and design compliance program adapting to evolving requirements
• Ensure regulatory inquiries handled efficiently and policy updates

Skills

FINRA compliance

SEC compliance

Regulatory knowledge

Communication

Training

Policy writing

KYC/AML/CIP

FINRA Gateway (U4/U5, Form BD)

Documentation

Teamwork

Education

Bachelor's degree required

JD preferred

Tools

DocuSign

Smarsh

ComplySci

Dow Jones Risk Center

Job description

Financial Technology Partners is seeking a Compliance Manager to oversee FINRA, SEC, and FCA regulatory compliance and advise management on strategic decisions. The role requires hands-on development of a tailored compliance program responding to evolving regulatory needs.

The ideal candidate will have 4+ years in FINRA/SEC compliance within investment banking or private equity, plus Series 7/24 or ability to obtain quickly, and strong written policies.